Paul D. Wachter
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul David Wachter was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1991. Paul had worked at 3 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2012 - January 20, 2018
MSA SECURITIES, LLC
September 21, 2010 - June 28, 2011
MSA SECURITIES, LLC
June 18, 1993 - March 5, 1997
SCHRODER & CO. INC.
December 11, 1991 - June 30, 1993
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MSA SECURITIES, LLC
CRD#: 150557 / SEC#: , 8-68267
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FILLO, CHRISTOPHER MARK | MANAGING MEMBER, CCO, EXEC. REP., AML SUPER. | |
| MISTY MOUNTAIN HOP AGGREGATOR TRUST | MEMBER | |
| POTTS, JAMES BERTRUM | FINOP, CFO | 6411792 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
